Loading...
HomeMy WebLinkAboutGOVERNMENT FINANCE OFFICERS 1-2006 ii~5iJRI\NG(:l'lQI ON filE WORK MAY .tiQlPROCEED CLERK OF COUNCIL DATE: 7-017-0(, A-2006-174 AGREEMENT FOR SYSTEM SELECTION AND CONTRACT NEGOTIATION CONSULTING SERVICES D: F!I'l-5 (.3) (jJ. t2J\bld.5 ) This Agreement for System Selection and Contract Negotiation Consulting Services (this "Agreement") is entered into as of this 5th day of July, 2006, between the City of Santa Ana, California, a municipal corporation, having its offices at20 Civic Center Plaza, Santa Ana, CA 9270] (the "Government") and the Government Finance Officers Association of the United States and Canada, an Illinois not-for-profit corporation, having its offices at 230 North LaSalle Street, Suite 2700, Chicago, Illinois 60601 ("Consultant" or "GFOA"). RECITALS WHEREAS, the Government desires to hire Consultant to perform certain services and Consultant is willing to provide such services in accordance with the terms and conditions of this Agreement. NOW, THEREFORE, in consideration of the covenants contained herein and other good and valuable consideration, the receipt, adequacy and sufficiency of which are hereby acknowledged by the parties, the parties agree as follows: AGREEMENT I. DEFINITIONS A. "Project Manager" shall mean Anne Kinney, the GFOA Director of Research and Consulting. B. "Contract Administrator" shall mean Pamela Arends-King, the Assistant Director of Finance of the Government. II. TERM This Agreement shall become effective as of July, 2006, and shall remain in effect until all Services (as defined below) are performed by Consultant or January, 2007, whichever occurs first, unless sooner terminated as provided in this Agreement. III. SERVICES A. General Scone: Consultant shall perform the work and services as described in Exhibit A, which is hereby made a part of this Agreement (all such services and work performed hereunder is collectively referred to herein as the "Services"). B. Standard of Work: The performance of the Services pursuant to the terms of this Agreement shall conform to high professional standards in the field of public finance. Consultant shall use commercially reasonable efforts to formulate opinions and create information upon which the Government may rely. The substance of such opinions and information, however, is not guaranteed by Consultant to be free from omission or errors except insofar as such errors or QBCHI\38901O.6 Government Finance Officers Association ] of]5 omissions occur as a result of gross negligence or willful misconduct by Consultant. C. Comoliance with Aoolicable Law: Consultant shall perform the Services under this Agreement in compliance with all applicable laws, ordinances and regulations. D. Location: Consultant shall provide the Services to the Government at one or more locations mutually agreed upon by the Contract Administrator and Project Manager. IV. RELATIONSHIP OF PARTIES A. Indeoendent Contractor: Consultant is an independent contractor and shall not be deemed a partner or agent of or joint venturer with the Government. The employees and agents of Consultant who will be involved in the performance of the Services shall not be deemed the employees or agents of the Government. Neither party shall have any right, power or authority to create any contract or obligation on behalf of, or binding upon, the other party, without the prior written consent of such other party. B. No Interest: Consultant hereby acknowledges that it (i) has no personal or financial interest in the project requiring the performance of the Services other than the fee it is to receive under this Agreement; (ii) shall not acquire any such interest, direct or indirect, which would conflict in any manner with the performance of the Services hereunder; and (iii) does not and will not employ or engage any person with a personal or financial interest in the project requiring the Services under this Agreement. V. PUBLICATIONS As an educational, nonprofit, professional membership association, Consultant reserves the right to publish non-confidential documents describing the results of, or created during, the Services performed under this Agreement. Consultant will not publish any item with the name of the Government without obtaining the prior written consent of the Government. VI. PROPRIETARY ITEMS All work product produced as a result of the Services provided hereunder shall be the property of the Government; however, Consultant's methodologies (e.g., surveys, reference databases) that it has developed before and during this engagement are the property of Consultant (collectively, and together with any Consultant proprietary assessment tools, the "GFOA Intellectual Property"). In particular, in the course of performance hereunder, Consultant may use (and may authorize the Government's personnel to use) certain GFOA Intellectual Property to assist in engagement completion. The Government shall not have or obtain any right or title to or interest in such GFOA Intellectual Property (or in any modifications or enhancements thereto). Consultant makes no express or implied warranties of any kind regarding the GFOA Intellectual Property. QBCHI\3890l0.6 Government Finance Officers Association 2 of] 5 VII. COMPENSATION OF CONSULTANT The Consultant shall be paid on the basis of a firm fixed price for Phases I and II. For Phase III the Consultant shall be paid on the basis of a firm fixed price of $5,000 for Deliverables 13 and 14, and on the basis of actual time spent providing Negotiation Support for up to $10,000. The fixed price and Consultant's hourly billing rate are set forth in Exhibit A. The total amount of this Agreement shall not exceed $94,500. The Government shall make payment to Consultant on the basis of Services and the work product rendered as shown in Exhibit A, following the Government's receipt of an invoice, which invoice shall be due within thirty (30) days of receipt, subject to the Government's accounting procedures (the "Payment Date"). Invoices shall be mailed to: Pamela Arends-King Assistant Director of Finance City of Santa Ana, California 20 Civic Center Plaza Santa Ana, CA 92701 VIII. INSURANCE Consultant agrees to procure and maintain in effect during the term of this Agreement insurance policies in the amount and with the type of coverage shown below: 1. Workers Compensation insurance in the form and amount required by applicable law(s). 2. Commercial General Liability insurance on an "Occurrence Basis" with limits ofliability not less than $500,000 per occurrence and/or combined single-limit bodily injury and property damage. 3. Motor Vehicle Liability, including No-Fault coverage, with limits of liability not less than $500,000 per occurrence and/or aggregate combined single limit, personal injury, bodily injury and property damage. Coverage shall include all non-owned vehicles, and all hired vehicles. 4. Professional Liability, with limits of liability of $3,000,000 per claim and policy aggregate. IX. INDEMNIFICATION; LIMITATION ON LIABILITY A. Mutual Indemnification: Subject to any limitation set forth below in Clause B, each party (the "Indemnifying Party") shall indemnify, defend and hold harmless the other party (the "Indemnified Party") and its respective officers, directors, employees and agents against any and all actions, controversies, demands, suits, proceedings, claims, causes of action, liabilities, losses, costs, interest, penalties, demands, expenses and damages of any kind whatsoever (including reasonable attorneys' fees and costs incurred in connection with the arbitration or resolution of any dispute as set forth herein) (collectively, "Losses") related to or arising, directly or indirectly, from any claims of third parties against Government Finance Officers Association 3 of] 5 QBCHI\3890 10.6 an Indemnified Party arising out of the acts or omissions of the Indemnifying Party or any of its employees and/or agents. B. Limitation of Liabilitv: Consultant's liability for any matter arising under this Agreement or from any transaction contemplated herein, including without limitation the provision of the Services, shall not exceed the actual amount paid by an insurer as a result of any claim made with respect to such matter under Consultant's insurance policies as set forth in Section VIII (the "Liability Cap"). The Government acknowledges that the Liability Cap is a material term upon which Consultant has relied in entering into this Agreement and that Consultant would not have entered into this Agreement in the absence of such provision. X. ACCEPTANCE AND RELEASE The Government shall be deemed to have accepted all Services in a given Phase and the work product resulting therefrom upon the earlier to occur of: (i) the Government's payment of the invoice received from Consultant in respect of the Services; or (ii) the Payment Date; provided, that prior to such date the Government did not provide written notice to Consultant that it believes Consultant has breached this Agreement. Upon such acceptance, the Government shall be deemed to have released Consultant from any liability resulting from such phase of the Services. XI. DISCLAIMER The Government hereby acknowledges that (i) Consultant is not the software provider or systems integrator, (ii) Consultant's role is to provide information, analysis and advisory services, and (iii) the decision on a software and services vendor is solely that of the Government. Accordingly, the Government agrees that Consultant shall bear no responsibility and shall incur no liability with respect to the performance or provision of the software, hardware, or implementation services. XII. NONDISCRIMINATION The Consultant agrees to comply with the nondiscrimination provisions of all applicable laws and to take affirmative action to assure that applicants are employed and that employees are treated during employment in a manner that provides equal employment opportunity and tends to eliminate any inequality based upon race, national origin or sex. XIII. TERMINATION OF AGREEMENT AND RIGHTS UPON TERMINATION A. Termination without Cause: Either party may terminate this Agreement at any time, with or without cause, upon thirty (30) days prior written notice to the other party. B. Termination for Cause: Either party may immediately terminate this Agreement in the event that (i) the other party seeks protection under the bankruptcy laws (other than as a creditor) or (ii) any assignment is made for the benefit of creditors or a trustee is appointed for all or any portion of such other party's assets. QBCHI1389010.6 C. Effect of Termination: If the Services are terminated under this Section XlII, (i) Consultant shall provide to the Government all work product completed through Government Finance Officers Association 4 of] 5 the date of termination, (ii) each party shall return to the other party any and all Confidential Information of the other party and all other information, data, software, documentation or equipment in its possession or control which the other party has supplied to such party, and (iii) the Government shall pay Consultant all fees charged through the date of termination on a time and materials basis using rates shown in Exhibit A. D. Survival: The provisions of Sections V, VI. VII, IX, X, XI. and XIII, and any definitions provided herein for purposes of aiding in the interpretation of this Agreement, shall survive any termination of this Agreement. XIV. OBLIGATIONS OF THE GOVERNMENT A. The Government agrees to give Consultant access to staff and the Government owned properties as required to perform the Services under the Agreement. B. The Government shall immediately notify Consultant in writing of any defects in the Services upon the Government's actual notice of the same. XV. ASSIGNMENT Neither party may assign or transfer any of its rights or obligations under this Agreement without obtaining the prior written consent of the other party. XVI. DISPUTES In the event of any dispute between the parties arising from this Agreement or the Services provided hereunder, each party shall, prior to seeking judicial resolution of such dispute, escalate the dispute to a senior representative of such party, and such senior representatives shall use good faith efforts to resolve the dispute between them. If such senior representatives are unable to resolve the dispute, such dispute shall then be decided by arbitration pursuant to procedures jointly agreed upon by the Government and Consultant. Consultant and the Government shall make good faith efforts to resolve any and all disputes as quickly as possible. XVII. NOTICE All notices, submissions, consents, and other communications required or permitted under this Agreement shall be in writing and sent via overnight carrier, first class mail, postage prepaid, or transmitted via facsimile or electronically, with confirmation of such transmission, to the Administering Department, care of the Contract Administrator or to the Project Manager, as the case may be, at the address stated in this Agreement or such other address or facsimile number as either party may designate by prior written notice to the other. XVIII. ENTIRE AGREEMENT This Agreement constitutes the entire agreement between the parties pertaining to the subject matter hereof; supersedes any and all prior agreements, proposals, letters of intent, understandings, negotiations and discussions of the parties, whether oral or QBCHI\38901O.6 Government Finance Officers Association 5 of]5 written, relating to the subject matter hereof; and shall be binding upon the parties' respective successors and permitted assigns. XIX. AMENDMENTS Any modifications to this Agreement shall be made only in writing, signed by the duly authorized representatives of both parties, and a copy shall be attached to the original Agreement. XX. SEVERABILITY OF PROVISIONS If any part of this Agreement is found by a court of competent jurisdiction or other competent authority to be invalid, unlawful, or unenforceable, then such part shall be severed from the remainder of this Agreement, which shall continue to be valid and enforceable to the fullest extent permitted by law. XXI. CHOICE OF LAW The City requires that this Agreement shall be construed, governed, and enforced in accordance with California law. XXII. INTERPRETATION The headings included in this Agreement are for convenience or reference only, and shall not be considered in the construction hereof. The singular number shall include the plural and vice versa. All uses of the word "including" herein shall, unless otherwise indicated, be interpreted to mean "including, but not limited to." XXIII. WAIVER No failure on the part of either party to exercise, and no delay in exercising, any right, power or privilege hereunder operates as a waiver thereof; nor does any single or partial exercise of any right, power or privilege hereunder preclude any other or further exercise thereof, or the exercise of any other right, power or privilege. XXIV. COUNTERPARTS This Agreement may be executed in counterparts, each of which taken together shall constitute one single agreement between the parties. Government Finance Officers Association 6 of] 5 QBCHI138901O.6 By the signatures of their duly authorized representatives below, Consultant and the Government, intending to be legally bound, agree to all of the provisions of this Agreement, including any and all Exhibits attached hereto. GOVERNMENT FINANCE OFFICERS ASSOCIATION [THE GOVERNMENT] BY: ~~~ BY: ~~~.~ ..d PRINT NAME: PRINT NAME: Jeffrey L. Esser DAVID N. REAM PRINT TITLE: CEO/Executive Director PRINT TITLE: City Manager DATE: DATE: 7/5/2006 ~~1'EST~ ...... . . / (~~~:,~ ~ PATRICIA E. HEALY , Clerk of the Council . . . , ~ ! :c."': --V' ""'.J ". ' '.,,' '/ ,,'- -- . ,-j v"" " '-' ;:7' - J I QBCHI\38901O.6 Government Finance Officers Association 7 of] 5 EXHIBIT A Project Scope and Approach GFOA will assist the City in the procurement of a new enterprise system that supports finance, human resources, payroll, and utility billing functionality. The scope of the enterprise system shall include general ledger, accounts payable and receivable, purchasing, budget preparation, project and grant accounting, cash receipting, business licensing, human resources, benefits, payroll, time and attendance and utility billing. GFOA proposes to assist the City through three phases: I) Business Requirements and RFP Development; II) System Selection Services; and, (III) Contract Negotiation Services. Although we use deliverables (project plan, business requirements, etc) to establish milestones for payment purposes, a significant portion of our activities are advisory related. Throughout the project, GFOA works closely with City staff providing extensive background and market knowledge, organizational guidance, and lessons learned from our work with over 125 jurisdictions. /,/1, 1\1: 1 Bu\ilH'\\ Nt't Uil'l'JIIl'1l1\/RJ J' /)l'l'do }Jl/('1I1 Definition of Phase. GFOA will work with the City to develop a set of functional and system- wide requirements that must be met by the new system. Additionally, GFOA will, in conjunction with the City, develop a comprehensive RFP that the City will release to the marketplace. The specific approach and methodology that GFOA will utilize is based on the tasks described below. Description of Tasks. Tasks for Phase I include project launch, drafting and validating business requirements, and drafting and finalizing the RFP document. X. I. Project Launch. GFOA staff will work with the City's project manager and other key staff involved in the project to create a project time line. Additionally, GFOA will conduct an executive kickoff meeting that fully describes the engagement phases, associated deliverables, and the roles that City staffwill play during the engagement. Deliverable: Project Plan. Y. 2. Business Requirements Draft and Validation. GFOA begins with the knowledge that "minimum customization" and the similarity of needs across local governments makes it practical and more efficient to develop a list of core system requirements as opposed to detailed requirements that recreate the current system and perpetuate dysfunctional processes. Too often governments expend significant resources on consultants and internal staff collecting detailed business requirements. These requirements often replicate the current system-and by implication dismiss the main advantages of leading-edge enterprise software. The business requirements task will include interviews with key department staff for each functional area within the scope of this engagement (along with interviewing the City's technical staff) to develop business requirements, enterprise-wide technology requirements, and collect information on technology architecture issues. The City's role during this step is to facilitate the GFOA process by scheduling and participating in meetings and helping us define the detailed requirements for the new system. Two deliverables. Draft set of comprehensive business requirements and Validated set of comprehensive, business requirements. QBCHI\3890 10.6 Government Finance Officers Association 8 of]5 3. RFP Development. GFOA knows that governments can utilize a rapid RFP development approach at significantly less cost and government staff effort than often employed by traditional consultants. We will embed in the RFP your functional (e.g., ABC/ABM) and technological (e.g., workflow, web-enablement) goals. The RFP will also include an interfaces attachment that will describe the City's existing third party systems that will work with the ERP solution. In addition, GFOA will add sections of the RFP, such as provision of desired technology infrastructure and vendor references. We will work with the City to create an RFP, which will illicit proposals that can be easily understood and analyzed. Too often, when proposals are received, it is difficult to make an 'apples to apples' comparison of costs or even to make a basic comparison of cost proposals. We will provide you with a matrix that will significantly improve the ability to compare software and implementation service costs and staffing requirements. The City's main role during this step is to facilitate the GFOA process by providing City boilerplate terms and conditions that must be included in the RFP and conveying any other pertinent procurement policies and procedures. Two deliverables. initial draft of RFP Text for City Review and Final Draft RFP Document. Plu1se I Deliverables: Deliverable I: Project Plan. Deliverable 2: Draft Set of Comprehensive City Business Requirements. Deliverable 3: Initial Draft of RFP Textfor City Review. Deliverable 4: Validated Set of Comprehensive City Business Requirements. Deliverable 5: Final Draft RFP document. (City issues the final RFP as a formal procurement function of the City). /'//\ ~'f." /I ."'nl('1JI "dec1101l "'H'rricf\ Definition of Phase. Phase II begins when the RFP is released and ends after the completion of deliverables and when two vendors are identified for competitive negotiations. GFOA's methodology during System Selection is one of elevation rather than elimination through the various phases. The City will be expected to elevate no more than three vendors (from all qualified proposals received) to the Software Demonstration phase. The City will then be expected to elevate no more than two vendors to the Discovery and Contract Negotiation phase. The City will need to identify a core evaluation team to assist GFOA in Phase II activities. Proposal evaluation teams are usually cross-functional with representation from all key areas (Finance, HR, IT, Purchasing, etc.) within the City. The size for evaluation teams can vary but QBCHI\389010.6 Government Finance Officers Association 9 of] 5 usually consist of between 5 and 11 members depending on the size and complexity of the organization. It is suggested that the City's Project Manager serve as Chairperson for this team. During Phase II, evaluation team members are responsible for evaluating all proposals received, attending all demonstration sessions, analyzing client reference reports, and ultimately making a recommendation of finalist vendors per the Proposal Evaluation Plan. Deliverables. The steps are outlined below describe the services provided to the City by the GFOA during the vendor evaluation portion of our engagement. I. Proposal Evaluation Plan. The GFOA will develop a systematic Evaluation Plan document to be followed by members of your evaluation team. This plan will be completed before the opening of the proposals. It includes a project timeline for the evaluation team and provides the City evaluation team with a "roadmap" to conduct evaluations. Deliverable: Proposal Evaluation Plan 2. Proposal Analysis. GFOA will provide a framework to the City for assessing the major strengths and weaknesses of each of the responses to the RFP. The focus will be on costs, proposed implementation and training methodologies/plans, experience of the software and implementation firm, and identification of risk facts. GFOA will work with the City in identifying the key issues for each proposal. We will also provide a methodology that enables the City to create an analysis that provides equivalent comparisons and outlines opportunities for cost reduction and risk areas that should be addressed during Statement of Work (SOW) development and contract negotiations. We will direct the City on analyzing vendor responses to the detailed requirements by module. Finally, we will assist the City compare the stated ability of each software product to fit the needs of the City and the potential gaps in functionality that may have to be custom developed. Deliverable: Proposal Analysis Template and Facilitate the Development of Proposal Analysis Summary Report/Fit-Gap Requirements Analysis 3. Vendor Demonstration Scripts/Demonstration Evaluation Tool. The GFOA will develop demonstration scripts to guide vendor presentations, based on interviews with government staff, RFP requirements, and GFOA's knowledge of best business practices. In addition, GFOA will prepare an evaluation booklet for members of your evaluation team to use during vendor software demonstrations. Two Deliverables: Software Demonstration Scripts and Software Demonstration Evaluation Booklet 4. Software & Implementation Firm Reference Checks. GFOA will provide a standard questionnaire for City staff for conducting in-depth interviews by phone for each of the vendors invited to perform product demonstrations. Additionally, GFOA will provide an overview of how best to use the questionnaire and helpful hints to City staff conducting the interviews. Interview questions include project information such as project timeliness and performance against budget, as well as the effectiveness of the implementer in installing best practices and how the new system has enhanced organizational performance. Deliverable: Software Firm! Implementation Firm References Questionnaire 5. Staffing Vendor Demonstration Presentations. GFOA's recommended approach (assumed in the fixed price) is to short-list no more than three vendors/vendor teams for on-site demonstrations. A GFOA team member will attend up to three software vendor Government Finance Officers Association 10 of] 5 QBCHI\3890IO.6 demonstrations of three days each. Because of our extensive experience in evaluating software demonstrations, we will identify demonstration strengths and weaknesses and raise unclear or problematic issues up for discussion. GFOA team members will log all of the unresolved issues at the demonstrations. The GFOA team will facilitate sessions with the evaluation team and steering committee to reach general conclusions on the demonstration presentations. Deliverable: Staffing On-Site Demonstrations Phase II Deliverables: Deliverable 6: Proposal Evaluation Plan. Deliverable 7: Proposal Analysis Template. Deliverables 8 and 9: Software Demonstration Scripts and Software Demonstration Evaluation Booklet. Deliverable 10: Software Firm I Implementation Firm References Questionnaire. Deliverable 11: Stqffing Vendor Demonstrations. PIL\SE III Disl'Cl\ er~ and ('olltral'\ Negotiation Sl'n iees Definition of Phase. Phase III begins once the City has elevated two vendors for consideration under competitive negotiations and ends when a contract is established with a single vendor. GFOA has established a library of sample software contracts for its consulting practice that will be utilized for this phase. The City will need to establish a core negotiation team for this phase. This team (usually 3-5 members) should be staffed with personnel who can commit the City (contingent on governing body approval) to contractual terms and conditions. Since negotiations are very fluid and unpredictable, this negotiation team should be prepared to be flexible to meet ongoing negotiation needs. Description of Tasks. One of the most valuable services that GFOA provides its clients is the negotiation of software contracts. The following tasks occur during Phase III to ensure the successful negotiation of a contract and implementation services agreement. 1. Discovery Sessions. As part of our methodology, GFOA suggests that governments conduct a one-day workshop, termed 'Discovery' with each of the two vendors identitied for competitive contract negotiations. These sessions take place after demonstrations and before formal negotiations begin. The Discovery sessions provide vendors with an opportunity to gather the information necessary to further clarify their proposals. Shortly after the sessions, vendors are requested to produce updated pricing and clarify remaining issues. Deliverable: Discovery letters and agenda. 2. Contract Negotiations. Too often, governments are pitted against software vendors that have negotiated contracts many times before. Understandably, software vendors and their implementation partners want to maximize profit and minimize risk. GFOA has developed a QBCHI\3890 I 0.6 Government Finance Officers Association 11 of] 5 unique competitive contracting methodology that we propose to utilize for this engagement. This approach seeks to retain the benefits of competition until the last moment of the procurement cycle. It also uses our membership network to benchmark prices and terms. Deliverable: Contract Negotiations Checklist. 3. Statement of Work. Once a single vendor finalist is identified we develop an evolving Statement of Work. The Statement of Work (SOW) is a detailed document that specifies a step- by-step approach for the implementation and outlines roles/responsibilities of all parties involved. As discussions continue the Statement of Work becomes a very detailed and we\l- defined document. Part of the reason that the implementation phase for our clients have gone so successfully is because of the detailed work GFOA does during SOW development. Deliverable: Statement of Work Request to Finalist Vendor. Plulse IV Deliverables: Deliverable 12: Discovery Letters and Agenda. Deliverable 13: Contract Negotiation., Checklist. Deliverable 14: Statement o{Work Request to Finalist Vendor. QBCHI\38901O.6 Government Finance Officers Association ]2 of]5 V. Cost Proposal Project Budget GFOA takes great pride in completing our consulting projects on time and on budget. To date, GFOA has not had a cost overrun in any of the technology projects in which we have been engaged and we customarily do not provide change orders to clients unless the assumptions of the engagement have not been adhered to or scope of the project has changed due to the client's request. The cost by phase is presented in the following table. Phase I Phase II Phase III Business Re uirements/RFP Develo S stem Selection Services Contract Negotiations ment $51,555 $27,945 $15,000 Fixed Fee Fixed Fee Blend of Fixed Fees and Time & Expenses Fees Total $94,500 Payment and Contractual Terms. GFOA will invoice the City based on the payment schedule below. Paymel/t Plw\{' \flintol/(' PaYIlll'JlI il1l011Ut \lImher I I Deliverable I $ 1,555 2 I Deliverable 2 $20,000 3 I Deliverable 3 $14,500 4 I Deliverable 4 and 5 $15,500 5 II Deliverable 6 $ 5,000 6 " Deliverable 7 $ 5,000 7 II Deli verables 8 and 9 $ 5,000 8 II Deliverable JO $ 3,000 9 " Deliverable 11 $9,945 to III Deliverables 13 and 14 (Fixed Fee) $ 5,000 II-X III Negotiations Support - includes deliverable 12 Not to exceed $10,000 (Time and Exoenses) NOTE: All fixed fee pricing includes travel costs incurred by GFOA staff. For the time and expenses portion of Phase III, the City will be billed an hourly rate of $185 per hour plus a $37 travel loading rate for all work effort incurred on-site. QBCHI\3890IO.6 Government Finance Officers Association 13 of 15 General Assumptions The following is a list of assumptions for this engagement: 1. The proposal assumes that the contract will be completed within the timeframe set forth in the agreement between GFOA and the City. The timeline for the project assumes that the City will have its staff available to complete the project within the timeframe proposed. 2. If it becomes necessary for the City to request additional resources or expand scope during Phases I-IV, such additional work shall be secured as an amendment to the contract between the City and GFOA, and the work will be performed at an hourly rate of $185 per hour, plus a travel loading rate of $37 per hour for all time expended on-site. 3. City staff will be reasonably available for interviews and will participate in the project as agreed upon and appropriate. The City agrees not to cancel meetings once established (which would raise our travel costs). 4. The City agrees to confirm acceptance of deliverables with in 10 business days. If a deliverable is not accepted, the City must state in writing to the Project Manager the changes needed to the deliverable to gamer its acceptance. 5. GFOA is a non-profit membership association made up of members like the City. As such, we do not price our services like the private sector, nor can we assume the same degree of risk. Therefore: · GFOA assumes in its pricing that its liability is limited to the extent of claims paid by insurance coverage currently in place. · The contract with the City must also state the following: "City of Santa Ana recognizes that GFOA 's role is to provide information, analysis and advisory services. The decision on a software and services vendor is solely that of the City. As such, GFOA bears no responsibility for the peiformance of the software, hardware, or implementation services provider. " Having stated this, the government can rest assured that GFOA is able to meet typical insurance requirements to do business with governments in the State of California. 6. GFOA conducts its consultations on a fixed fee engagement, where payment is due upon completion of deliverables. Assumptions by Phase The following is a list of assumptions specific to each phase of this engagement: Phase I GFOA will conduct up to three site visits for requirements gathering and RFP development. The first visit will have up to 3 GFOA consultants on site for a maximum of 4 days to conduct project kickoff activities and to gather financial, human resource, payroll, and utility billing requirements. The second site visit will have up to 3 GFOA consultants for a maximum of 4 days to validate all business requirements. The City's primary participants in these site visits will be the City project team and subject experts from the legal and procurement departments. Government Finance Officers Association ] 4 of] 5 QBCHI\3890IO.6 The City will provide a central site for GFOA for all requirements definition and validation sessions. Phase II The proposal assumes that no more than three vendors/vendor teams will be short-listed for product demonstrations. One GFOA staff member will attend a maximum of three product demonstrations of up to 4 days per product. The demonstrations will be held over consecutive weeks to maintain continuity in the evaluation process. Phase IV The City will hold an on-site Discovery session for the two vendors elevated for negotiations after the software demonstrations. One GFOA staff member will attend a maximum of two Discovery sessions lasting one day each. The discovery sessions will be held on consecutive days to maintain continuity and reduce travel costs for GFOA staff. Proposed Timeline GFOA anticipates a seven.month engagement, lasting from July 2006 through January 2007. The following timeline is a suggested based upon our current understanding of the City's needs. If needed, GFOA will work with the City to establish a project timeline that better meets the City's needs. Timdinc I\lajo," I\lilcstoncs Jul 2006 Earl August 2006 Au ust 2006 Earl September 2006 October 2006 November 2006 December 2006 December 2006 - January 2007 Contract A roved Site Visit #1 - Project Kickoff Site Visit #2 RFP Released Pro osals Received Vendor Demonstrations Discover Sessions Contract Negotiations & Finalization QBCHI\38901O.6 Government Finance Officers Association ]5 of]5 AUG-02-06 WED 03:37 PM FAX NO. P. 01 ,'~ .'CERTIFICATE OF LIABILITY INSURANCE I DATE (MMlDDIYVYY) . . . 08/02/2006 PROCIucER 815-459-3300 FAX 815-459-3360 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION MARKET FINANCIAL GROUP,lTD ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE 240 COMMERCE DRIVE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. CRYSTAL LAKE, Il 60014 INSURERS AFFORDING COVERAGE NAlC# ....----.-. -- The Hartford Insurance Co. INSURED INSURER '" Government Finance Officers Association INSURER B: Landmark American Insurance Co. l03 N. laSalle, Suite 2700 INSURER c: Chicago, Il 60601 A ~ ~6t..o-/7f INSURER 0: INSURER E: THe POI.lCIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGOREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. I~~ ~o,.9;~ ._-~.....- - POLICY I!Fl'ECTI\II! P yex I N TYPE OF INSURANCE POLICY NUMBER LIMITS GENERAL LIABILITY 83UUNRY2296 08/01/2006 08/01/2007 EACH OCCIJRRENCE S 1,000,000 1 COM"'R'.' C,",'" U'.UN DAMAGE T9~~ENTED $ 300.000 __~~. ~J ClAIM~ MADE [K] OCCUR MED EXP (Anyone person) S 10,000 A PERSONAL & ADV INJURY S 1 000,000 _.--, -----.-.--- -- ._-.._-~,-- 2,000,000 GENERAL AGGREGATE $ --- ---" -----,--- 2,000,000 GEN'L AGGReGATE LIMIT APPLIES PER: PRODUCTS. COMP/OP AGG $ I--l POLICY f'" ] ~r~T ['1 LOC AuTOMOBILE LIABILITY 83UUNRY2296 08/01/2006 08/01/2007 COMBINED SINGLE LIMIT f-:.- IS X ANY lIura (Ell accidllnt) I,OOO,OO(] 1--,- ALL OWNED AurOS BODILY INJURY -- IS SCHEOUL F.D AUTOS (Par peraoo) : A 1-- X HIRED AUTOS 1--,- BODILY INJURY S X NON.OWNLD AUTOS (Per IICCi<I8nl) -" -- -,-,_..._--~-_.~---- PROPERTY DAMAGE IS (Per eccldenl) GARAGi:i LIABILITY AUTO ONLY. EA ACCIDENT IS ==1 ANY AUTO OTHER THAN EAACC S AUTO ONLY: AGG S EXCESs/UMBREl.LA LlABIUTY EACH OCCURRENCE S 3,OOO.00Cl K] OCCUR o CLAIMS MADE 83XHURY2231 08/01/2006 08/0l/2007 AGGREGATE $ 3 000,000 A s ...._~~ Dt:DUCTIBLE S X RnENTION IS 10,000 IS WORKERS COMPENSATION AND 83WECKD4442 08/04/2006 08/04/2007 X 'I T~~~T~r.\t;, I IOJ~' EMPLOYERS' LIABILITY E.L, EACH ACCIDENT IS 1,000,000 A ANY PROPRltiTORlI'ARTNERlEXECUTIVE OFFICERlMI:\MaER EXCLUDED? E.L, DISEASE. EA EMPLOYEE S 1,000,000 ~~~~I~t6~~v'I:n~~s bolcw E.L DISEASE. POLICY LIMIT IS 1. 000.000 p~TH'~'l-' Liability LHR704878 09/19/2005 09/19/2006 $3,000,000 Limit of Liability ro eSSlona 8 -Project Consulting $10,000 Deductible rcralRlP..TlON O{ OPERA nONS J LOCA!19N8 I VE~CLES I EXCLUSIONS A~'f.fl ENDO~SEMENT I SPECIAL PROVISIONS \ t ona Insure: Clty 0 Santa Ana, orn a SHOULD ANY OF THE ABOVE DESCRIBED POUClE8 BE QANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL ",10 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT. BUT FAILURE TO MAtL SUCH NOTICE SHALL IMPOSE NO OBUGA TION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES. A\m4ORIZED REPRESENTATIVE @ACORD CORPORATION 1988 City of Santa Ana, California Attn: Pamela Arends-Kin9 Assistant Director of Finance 20 Civic Center Plaza Santa Ana, CA 92701 'to) ACORD ~6 (2001/08) c.~ . ~B~M CERTIFICATE OF LIABILITY INSURANCE I DATE (MM/DDfYYYY) 09/11/2007 PRODueER 815-459-3300 FAX 815-459-3360 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION MARKET FINANCIAL GROUP,LTD ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 240 COMMERCE DRIVE ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. CRYSTAL LAKE, IL 60014 INSURERS AFFORDING COVERAGE NAIC# INSURED INSURER A: lhe Hartford Insurance Co. Government Finance Officers Association INSURER B: Landmark American Insurance Co. 203 N. LaSalle, Suite 2700 INSURER C Chicago, IL 60601 -:J A - ~OOC?- /'71 INSURER D: INSURER E: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. IN~ ~~~~ TYPE OF INSURANCE POLICY NUMBER PR}~Y EFFECTIVE POLICY EXPIRATION LIMITS GENERAL LIABILITY 83UUNRY2296 08/01/2007 08/01/2008 EACH OCCURRENCE $ 1,000,000 ~ X COMMERCIAL GENERAL LIABILITY DAMAGE TO RENTED $ 300,000 ~ ~ CLAIMS MADE 0 OCCUR MED EXP (Anyone person) $ 10, 000 A PERSONAL & ADV INJURY $ 1,000,000 ~ GENERAL AGGREGATE $ 2,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG $ 2,000,000 Ii .nPRO- n POLICY JECT LOC AUTOMOBILE LIABILITY 83UUNRY2296 08/01/2007 08/01/2008 COMBINED SINGLE LIMIT e-- $ X ANY AUTO (Ea accident) I,OOO,OO(J >-- ALL OWNED AUTOS BODILY INJURY e-- $ SCHEDULED AUTOS (Per person) A e-- X HIRED AUTOS BODILY INJURY - $ X NON-OWNED AUTOS (Per accidenl) f--- >-- PROPERTY DAMAGE $ (Per accident) GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ ~ ANY AUTO OTHER THAN EA ACC $ AUTO ONLY: AGG $ iJESS/UMBRELLA LIABILITY EACH OCCURRENCE $ 5,000,000 X OCCUR 0 CLAIMS MADE 83XHURY2231 08/01/2007 08/01/2008 AGGREGATE $ 5,000,000 A $ ~ DEDUCTIBLE $ X RETENTION $ 10,OOe $ WORKERS COMPENSATION AND 83WECKD4442 08/04/2007 08/04/2008 X I T~~$': ~I,~~ I IOJ6l- EMPLOYERS' LIABILITY 1,000,000 A ANY PROPRIETOR/PARTNER/EXECUTIVE E.L. EACH ACCiDENT $ OFFICER/MEMBER EXCLUDED? E.L. DISEASE - EA EMPLOYEE $ 1,000,000 If yes, describe under 1,000,000 SPECIAL PROVISIONS below EL. DISEASE - POLICY LIMIT $ OTH~ LHR710886 09/19/2007 09/19/2008 $3,000,000 Limit of Liability P~ro essional Li abi 1 ity B -Project Consulting $10,000 Deductible DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES I EXCLUSIONS ADDED BY ENDORSEMENT I SPECIAL PROVISIONS ~dditional Insured: City of Santa Ana, California, its officers, employees, agents, volunteers and ~epresentatives - per attached form. \ ) - 1 c] 1 . / \' /.-:nh" '. ...~. CERTIFICAT H City of Santa Ana, California Attn: Teresa Ramirez ;I.. (.pq(PO 20 Civic Center Plaza Santa Ana, CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ~~ MAIL -1L DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, ~){K~~K)(U~J6CIXl>>X:~XX ~n~lCIKltXX~KllIK)(ft){~XXXXXXXX AUTHORIZED REPRESENTATlV James Waters @ACORDCORPORATION 1988 ACORD 25 (2001/08) OI~IGlf~AL N .-/ 1.0 .-/ o .-/ o .-/ o 1.0 0'\ N N >< r::r; C"1 CO N o o '<ji o i< - - ;;;;;;;;;;;;;; ;;;;;;;;;;;;;; - - ;;;;;;;;;;;;;; - - - ;;;;;;;;;;;;;; - ;;;;;;;;;;;;;; - ;;;;;;;;;;;;;; - - ~ ~ - - !!!!!!!!!!!!! - - - ;;;;;;;;;;;;;; - - == ;;;;;;;;;;;;;; - - - - - ;;;;;;;;;;;;;; ;;;;;;;;;;;;;; - POLICY NUMBER: 8 3UUNRY 2296 COMMERCIAL GENERAL LIABILITY CG 20 10 07 04 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - OWNERS, LESSEES OR CONTRACTORS - SCHEDULED PERSON OR ORGANIZA TION COMMERCIAL GENERAL LIABILITY COVERAGE PART This endorsement modifies insurance provided under the following: SCHEDULE Name Of Additional Insured Person(s) Or Organization(s): Location(s) Of Covered Operations The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California, Its officers, employees, agents, volunteers and representatives. Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. Section /I - Who Is An Insured is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part. by: 1. Your acts or omissions; or 2. The acts or omissions of those acting on your behalf; in the performance of your ongoing operations for the additional insured(s) at the location(s) designated above. CG 20 10 07 04 B. With respect to the insurance afforded to these additional insureds, the following additional exclusions apply: This insurance does not apply to "bodily injury" or "property damage" occurring after: 1. All work, including materials, parts or equipment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed by or on behalf of the additional insured(s) at the location of the covered operations has been completed; or 2. That portion of "your work" out of which the injury or damage arises has been put to its intended use by any person or organization other than another contractor or subcontractor engaged in performing operations for a principal as a part of the same project. fA '-,' / " /:/f / ' ' f"" I @ ISO Properties, Inc., 2004 Page 1 of 1 A R~ CERTIFICATE OF LIABILITY INSURANCE o8io4iio s' PRODUCER g15-459-3300 FAX 815-459-3360 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION LTD MARKET FINANCIAL GROUP ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE , HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 240 COMMERCE DRIVE ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. CRYSTAL LAKE, IL 60014 INSURERS AFFORDING COVERAGE NAIC # INSURED INSURER A: The Hartford Insurance Co. Government Finance Officers Association INSURER 6: Landmark American Insurance Co. 203 N . La5a11 e, Suite 2700 INSURER C: Chicago, IL 60601 INSURER D: ~q/ A ~OCOV 7 "~QO . `~~ ~ l rf ~UG~ 'U-3.j INSURER E. nwcn w ncc• vv v u~r+v a.v THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR ANY REQUIREMENT , MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR DD' TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION LIMITS GENERAL LIABILITY 83UUNRY2296 O8/O1/2008 O8/O1/2009 EACH OCCURRENCE $ 1, OOO, QOO X COMMERCIAL GENERAL LIABILITY DAMAGE TO RENTED $ 3OO , OOO CLAIMS MADE ~ OCCUR MED EXP (Any one person) $ lO , OOO A PERSONAL & ADV INJURY $ 1 , OOO, OOO X Contractual Liab. GENERALAGGREGA~E $ 2,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS -COMP/OP AGG $ 2 ~ QOO ~ OQO POLICY PRO- LOC JECT AUT OMOBILE LIABILITY 83UUNRY2296 O8/O1/2008 O8/O 1/2009 COMBINED SINGLE LIMIT $ X ANY AUTO (Ea accident) 1 , OOO , OOO ALL OWNED AUTOS BODILY INJURY $ SCHEDULED AUTOS (Per person) A X HIRED AUTOS BODILY INJURY $ X NON-OWNED AUTOS (Per accident) PROPERTY DAMAGE $ (Per accident) GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ ANY AUTO OTHER THAN EA ACC $ AUTO ONLY: AGG $ EXCESS/UMBRELLA LIABILITY EACH OCCURRENCE $ 5 , OOO , OOO X OCCUR ^CLAIMSMADE 83XHURY2231 O8/O1/2008 O8/O1/2009 AGGREGATE $ S,000,OOO A $ DEDUCTIBLE $ X RETENTION $ lO,OO $ WORKERS COMPENSATION AND 83WECKD4442 O8/O4/2008 08/04/2009 X WC STATU- OTH- EMPLOYERS' LIABILITY E.L. EACH ACCIDENT $ 1 , OOO , OOO A ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/MEh7°EP, EXCLUDED^ E.L. DISEASE - EA EMPLOYE ~ $ 1 , OOO, OOO If yes describe under SPECIAL PROVISIONS below E.L. DISEASE -POLICY LIMIT $ 1 , OOO, OOO orH bili l i ~ LHR710886 09/19/2008 09/19/2009 $3,000,000 Limit of Liability ty essiona L a ro B $10,000 Deductible -Project Consulting 8A DESCRIPTION OF OPERATIONS !LOCATIONS / VEHICLES I EXCLUSIONS Ap OBY`, DORSEMENT I SPECIAL PROVISIONS dditional Insured: City of Santa Ana,. Ca~ifor~ ia, its officers, employees, agents, volunteers and epresentatives. L-- '.rnr~c~nwTC un~ noo CAAIRFI I ATI(1N v~~~ ~ ~ -___ - _ SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE ~~ ^(An(L!E EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL CX MAIL Cl ty of Santa Ana, California 3O DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, Attn : Teresa Ramirez ~ G ~~~~~ D1JfdQ~K1![~C#~Na1~X~GlE-(1K~(~(dOQd(~J€XID~J~If~(~~AS~~(Ncil~K?fa(XX 20 Civic Center Plaza d1~(~rxdOb~(IIr:Did(~(d~41~1K8(I~fXX~rXXiD(Xi~XDf~~EXXXXXXXXX Santa Ana, CA 92701 AUTHORIZEDREPRESENTATIV /'fIM ~~1Us -~i ~6- xS 1~ James Waters c r ACORD 25 (2001!08) ~ ~ ~ G ~ ~ A L/ ©ACORD CORPORATION 1988